Peter T. Lawler

THE CAPROCK GROUP

Bluffton, SC

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CRD#: 1131068

Professional summary

Peter Traugott Lawler, who also goes by Peter T Lawler, is a registered financial advisor currently at THE CAPROCK GROUP, LLC located in Bluffton, South Carolina.

Peter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Peter has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Peter T Lawler

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

QUIVET NECK CAPITAL; INVESTMENT RELATED; 01/01/2009; 10 HOURS/MONTH; 0 HOURS/MONTH DURING MARKET HOURS; WILMETTE, IL; MANAGING PARTNER; CONSULTING & PROPRIETARY INVESTMENTS; BOOKKEEPING DUTIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Traugott Lawler's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 22, 2024 - Present

THE CAPROCK GROUP, LLC

RIA

CRD#: 124272

Bluffton, SC

Past

October 16, 2018 - May 22, 2024

GREY STREET CAPITAL, LLC

RIA

CRD#: 286671

Bluffton, SC

Past

March 18, 2013 - May 6, 2013

NICO SECURITIES, LLC

CRD#: 133476

CHICAGO, IL

Past

December 21, 2012 - January 2, 2013

QNC EXECUTION SERVICES LLC

CRD#: 159672

WILMETTE, IL

Past

June 5, 2012 - May 1, 2017

APEX CLEARING CORPORATION

CRD#: 13071

DALLAS, TX

Past

October 20, 2011 - May 31, 2012

TJM INVESTMENTS, LLC

CRD#: 46300

CHICAGO, IL

Past

April 13, 2009 - January 4, 2010

TJM PROPRIETARY TRADING, LLC

CRD#: 125962

CHICAGO, IL

Past

April 13, 2009 - February 18, 2010

TJM INVESTMENTS, LLC

CRD#: 46300

CHICAGO, IL

Past

December 1, 2006 - January 6, 2009

OPTIONSHOUSE1, LLC

CRD#: 135625

CHICAGO, IL

Past

June 20, 2006 - December 1, 2006

JUST OPTIONS, LLC

CRD#: 139098

CHICAGO, IL

Past

March 1, 2000 - March 13, 2006

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

CRD#: 3466

CHICAGO, IL

Past

December 14, 1998 - June 25, 2004

FIRST OPTIONS OF CHICAGO, INC.

CRD#: 13822

CHICAGO, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

THE CAPROCK GROUP, LLC

CRD#: 124272 / SEC#: 801-61642

RIA

Registered Investment Advisory firm - (12/17/2002 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

South Carolina
(5/22/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/27/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/3/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/1/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/9/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 8/12/2004

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 8/12/2004

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 4

Date: 8/14/2000

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/17/1999

General Securities Principal Examination

Current Firm

THE CAPROCK GROUP, LLC

CRD#: 124272 / SEC#: 801-61642

RIA

Registered Investment Advisory firm - (12/17/2002 Approved)

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Contact information

Main Address

800 West Main Street Suite 1150, Boise, ID 83702

Mailing Address

Phone number

(208) 368-9600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

THE CAPROCK GROUP, INC. FORM ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	408
AUM (Assets Under Management)	$ 10,149,325,042

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/17/2025	Cover Page	Report
01/28/2025	Cover Page	Report
10/26/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Peter T. Lawler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Traugott Lawler's CRS (Customer Relationship Summary).

Certified licenses

Experience

GREY STREET CAPITAL, LLC

NICO SECURITIES, LLC

QNC EXECUTION SERVICES LLC

APEX CLEARING CORPORATION

TJM INVESTMENTS, LLC

TJM PROPRIETARY TRADING, LLC

TJM INVESTMENTS, LLC

OPTIONSHOUSE1, LLC

JUST OPTIONS, LLC

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

FIRST OPTIONS OF CHICAGO, INC.

Primary Firm SEC Registration

THE CAPROCK GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/27/2018

Series 63

Date: 10/3/2000

SIE

Date: 5/1/2017

Series 7

Date: 12/9/1998

Series 10

Date: 8/12/2004

Series 9

Date: 8/12/2004

Series 4

Date: 8/14/2000

Series 24

Date: 2/17/1999

Current Firm

THE CAPROCK GROUP, LLC

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

THE CAPROCK GROUP, LLC

TRUST BUT VERIFY

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